WS
William H. Servis
Some features on this profile are disabled
CRD#: 1058289
WS
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Hall Servis JR, who also goes by Bill Servis, William Hall Servis, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2005. William had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bill Servis | William Hall Servis
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Approved on 04/28/2017, Non-Investment Related, Description: Owner/Agent for professional golfer, Johnny Miller, handling his endorsements, public speaking schedule, etc. Address: 24520 Outlook Drive #12, Carmel, CA 93923, 40 hours per month, none during trading hours. EQIS Capital Management, Inc. SVP Strategic Accounts. 1000 4th Street, Suite 650, San Rafael, CA 94901.
Start 12/31/2018, Non-Investment Related, Owner of Bill's Antiques and Collectibles, 24520 Outlook Drive #12, Carmel, CA 93923, Antique and Collectible Sales, 10 hours per month, none during trading hours.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
July 25, 2024 - July 31, 2025
FREEDOM INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 126052
Carmel, CA
Past
January 15, 2021 - December 31, 2022
PORTSMOUTH FINANCIAL SERVICES
BD
CRD#: 13980
SAN FRANCISCO, CA
Past
February 16, 2018 - January 18, 2019
EQIS SECURITIES, LLC
BD
CRD#: 20633
SAN RAFAEL, CA
Past
September 15, 2017 - April 10, 2024
FREEDOM INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 126052
Carmel, CA
Past
March 7, 2017 - December 18, 2017
PORTSMOUTH FINANCIAL SERVICES
BD
CRD#: 13980
SAN FRANCISCO, CA
Past
January 2, 2015 - April 24, 2015
EMERSON EQUITY LLC
BD
CRD#: 130032
SAN MATEO, CA
Past
December 6, 2012 - December 31, 2014
ARQUE CAPITAL, LTD.
BD
CRD#: 121192
SCOTTSDALE, AZ
Past
March 24, 2010 - October 24, 2012
ATEL SECURITIES CORPORATION
BD
CRD#: 17229
SAN FRANCISCO, CA
Past
September 23, 2009 - March 30, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN FRANCISCO, CA
Past
September 23, 2009 - March 30, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN FRANCISCO, CA
Past
May 5, 2005 - September 25, 2009
MCCLURG CAPITAL CORPORATION
BD
CRD#: 16798
SAN RAFAEL, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FI
FREEDOM INVESTMENT MANAGEMENT, INC.
EQIS | NEXUS ADVISORS INC. | FREEDOM INVESTMENT MANAGEMENT, INC. | FREEDOM INVESTMENT MANAGEMENT | FREEDOM INVESTEMENT MANAGEMENT, INC. | FREEDOM ADVISORS | FREEDOM | EQIS CAPITAL MANAGEMENT, INC. | EQIS CAPITAL MANAGEMENT INC. | EQIS CAPITAL MANAGEMENT | EQIS CAPITAL
CRD#: 126052 / SEC#: 801-68642
RIA
Registered Investment Advisory firm - (1/8/2008 Approved)Arizona
Registered Investment Advisory firm - (1/10/2008 Terminated)California
Registered Investment Advisory firm - (1/11/2008 Terminated)Colorado
Registered Investment Advisory firm - (1/15/2008 Terminated)Connecticut
Registered Investment Advisory firm - (1/10/2008 Terminated)Florida
Registered Investment Advisory firm - (1/14/2008 Terminated)Idaho
Registered Investment Advisory firm - (1/10/2008 Terminated)Illinois
Registered Investment Advisory firm - (1/8/2008 Terminated)Indiana
Registered Investment Advisory firm - (1/10/2008 Terminated)Iowa
Registered Investment Advisory firm - (1/11/2008 Terminated)Maryland
Registered Investment Advisory firm - (1/31/2008 Terminated)Massachusetts
Registered Investment Advisory firm - (1/14/2008 Terminated)New Jersey
Registered Investment Advisory firm - (1/10/2008 Terminated)North Carolina
Registered Investment Advisory firm - (1/10/2008 Terminated)Ohio
Registered Investment Advisory firm - (1/10/2008 Terminated)Texas
Registered Investment Advisory firm - (1/10/2008 Terminated)Virginia
Registered Investment Advisory firm - (1/17/2008 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FI
FREEDOM INVESTMENT MANAGEMENT, INC.
EQIS | NEXUS ADVISORS INC. | FREEDOM INVESTMENT MANAGEMENT, INC. | FREEDOM INVESTMENT MANAGEMENT | FREEDOM INVESTEMENT MANAGEMENT, INC. | FREEDOM ADVISORS | FREEDOM | EQIS CAPITAL MANAGEMENT, INC. | EQIS CAPITAL MANAGEMENT INC. | EQIS CAPITAL MANAGEMENT | EQIS CAPITAL
CRD#: 126052 / SEC#: 801-68642
RIA
Registered Investment Advisory firm - (1/8/2008 Approved)Arizona
Registered Investment Advisory firm - (1/10/2008 Terminated)California
Registered Investment Advisory firm - (1/11/2008 Terminated)Colorado
Registered Investment Advisory firm - (1/15/2008 Terminated)Connecticut
Registered Investment Advisory firm - (1/10/2008 Terminated)Florida
Registered Investment Advisory firm - (1/14/2008 Terminated)Idaho
Registered Investment Advisory firm - (1/10/2008 Terminated)Illinois
Registered Investment Advisory firm - (1/8/2008 Terminated)Indiana
Registered Investment Advisory firm - (1/10/2008 Terminated)Iowa
Registered Investment Advisory firm - (1/11/2008 Terminated)Maryland
Registered Investment Advisory firm - (1/31/2008 Terminated)Massachusetts
Registered Investment Advisory firm - (1/14/2008 Terminated)New Jersey
Registered Investment Advisory firm - (1/10/2008 Terminated)North Carolina
Registered Investment Advisory firm - (1/10/2008 Terminated)Ohio
Registered Investment Advisory firm - (1/10/2008 Terminated)Texas
Registered Investment Advisory firm - (1/10/2008 Terminated)Virginia
Registered Investment Advisory firm - (1/17/2008 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
100 Constitution Plz Fl 7, Hartford, CT 06103-1703
Mailing Address
Phone number
(860) 291-1998
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,236 |
| AUM (Assets Under Management) | $ 605,511,089 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
